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Wealth Manager · Small ($100M–$1B)
CRD 125573
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ADV data as of Jan 23, 2026
- Regulatory AUM
- $377M
- Discretionary
- $375M
- Clients
- 608
- Avg AUM / client
- $620K
- Accounts
- 1,460
- Employees
- 14
AUM over time
$67.9M
$377M
Mar 8, 2012
Jan 23, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Jan 23, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 351 | $108M | 28.5% |
| High net worth individuals | 215 | $267M | 70.7% |
| Pension and profit sharing plans | 5 | $917K | 0.24% |
| Charitable organizations | 33 | $1.3M | 0.36% |
| Corporations and other businesses | 4 | $587K | 0.16% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Other fees
- • THIRD PARTY ADVISORY FEES
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- Sei Investments Distribution Co. $360M (95% of AUM) Jan 2026
- Pershing $37.8M (13% of AUM) Aug 2023
- Clark Capital Management Group, Inc. $33.4M (12% of AUM) Mar 2021
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jan 23, 2026.